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Please join us for a one-hour webinar where we will provide an overview of the SEC’s recently adopted Advisers Act Marketing Rule and how the new rule will change how advisers market and sell their products and services. While the headlines shout that testimonials would be permitted, the proposal would completely upend Advisers Act rule 206(4)-1 – replacing it with a principles-based regime.
Takeaway Objectives:
- Notable changes from proposed rule
- Expanded definition of "advertisement"
- New general prohibitions
- Shift from bar on testimonials and past specific recommendations to false and misleading test
- New framework for use of performance advertising
- Extension of rule to investors in private funds
- Flexibility with regard to solicitation activities
- Related Form ADV changes
- Related records, approval, and supervision requirements
1 CFP CE approved
FPA Members and Partners FREE
Non-Members and Guests $10